The Compliance Executive ensures adherence to regulatory standards and manages compliance within a fintech platform, focusing on SEBI regulations and risk management.
About Wahed:
We have a passion to reduce financial inequality and exclusion by building world leading financial products and services aimed at giving access to all. We are a New York headquartered Financial Technology (FinTech) company focused on serving values-based (shariah compliant) digital financial services to retail clients globally, starting with wealth management. We have an impressive global team aligned with this purpose and are looking for trail blazers in their fields that will take our customer delivery to new levels. We can promise you a digital first and truly international culture, as well as a fascinating immersion into the world of FinTech and Islamic finance.
Job Brief:
- We are seeking a sharp, proactive, and tech-savvy Compliance Executive to support the compliance and governance framework of a SEBI-registered Investment Adviser operating via a digital/fintech platform. This role will ensure regulatory adherence, risk control, and ethical delivery of automated or advisor-assisted investment advisory services, in line with SEBI norms and fintech best practices.
Job Description:
- Regulatory Compliance & Monitoring:
- Ensure compliance with SEBI (Investment Advisers) Regulations, 2013, including disclosure norms, suitability standards, risk profiling, and reporting obligations.
- Monitor compliance with circulars related to robo-advisory models, automated advice, data privacy, and digital onboarding.
- Manage regular and event-based SEBI filings, including annual audits and compliance certifications.
- Operational Compliance in a Digital Context:
- Implement and monitor compliance checks on the fintech platform’s onboarding flow, including digital KYC, client consent, and agreement modules.
- Ensure that automated advice algorithms comply with SEBI’s suitability and risk assessment guidelines.
- Collaborate with Product and Engineering teams to embed compliance controls into backend systems and UI/UX journeys.
- Policy Development & Governance:
- Assist in drafting and maintaining Compliance Manuals, AML/KYC Policies, Data Privacy Policies, and Disclosures on the platform.
- Ensure clarity and compliance in all digital communication: website disclosures, app content, push notifications, emails, social media posts, etc.
- Client Communication & Documentation Review:
- Review investment advice, client agreements, financial plans, and communications to ensure regulatory compliance.
- Ensure timely disclosures to clients regarding conflict of interest, fees, affiliations, and risk factors.
- Internal Audits & Risk Management:
- Assist in preparing for and responding to SEBI inspections and internal audits.
- Maintain records in accordance with regulatory guidelines (minimum 5 years).
- Conduct periodic risk assessments and compliance checks across departments.
- Training & Awareness:
- Conduct training for cross-functional teams (especially tech, product, sales) to raise awareness of SEBI rules and platform compliance responsibilities. Assist in preparing for SEBI inspections, tech audits, and internal governance reviews.
Job Specification:
- Bachelor’s or Master’s degree in Law, Finance, Accounting, or Business Administration.
- 2–5 years of relevant experience in compliance, legal, or regulatory roles, preferably in SEBI-regulated entities.
- Working knowledge of the SEBI IA Regulations, SEBI LODR, AML guidelines, and SEBI circulars applicable to RIA's
- Familiarity with audit processes and SEBI’s online systems (SCORES, SEBI Intermediary Portal, etc.).
- Preferred Certifications: NISM-Series-X-A and/or X-B: Investment Adviser (Level 1 and 2) – mandatory for client-facing roles, highly recommended for compliance staff
- Company Secretary (CS) or LL.B., CA, or CFA – preferred
Top Skills
Aml/Kyc Policies
Compliance Manuals
Data Privacy Policies
Digital Kyc
Robo-Advisory Models
Sebi Regulations
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